Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Sui-Hock Goy: $100K GWG Complaint Against NI Advisors Rep
A recent investor complaint against Milpitas, California financial advisor Sui-Hock Goy (CRD# 2821380) alleges various forms of misconduct relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with NI Advisors.
Jeff Kennedy: $500K Investor Complaint Against Quincy Advisor
Center Street Securities financial advisor Jeff Kennedy (CRD# 5094149) recently received an investor complaint alleging his advice resulted in half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Quincy, Illinois.
Seth Stewart: 6-Figure Complaints Against Jeffersonville Advisor
Brookstone Financial advisor Seth Stewart (CRD# 5467292) has received multiple investor complaints alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Center Street Securities broker is currently registered as an investment advisor in Jeffersonville, Indiana.
Clark Owen: $114K GWG Complaint Against Cetera Advisor
A recent investor complaint against Cupertino financial advisor Clark Owen (CRD# 6096730) alleges that an investment in GWG L bonds resulted in six-figure damages. Financial Industry Regulatory Authority records show that the Cetera Investment Services broker and investment advisor has also been terminated from a former member firm in relation to alleged rule violations.
Patrick Durst: $300K GWG L Bond Complaint Against LifeMark Advisor
Centennial, Colorado financial advisor Patrick Durst (CRD# 6328382) recently received an investor complaint alleging a GWG L bond investment resulted in 6-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LifeMark Securities.
Seth Nannini: GWG Complaint Against Boone Advisor
Capital Investment Group financial advisor Seth Nannini (CRD# 4406510) recently received an investor complaint concerning an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and former investment advisor based in Boone, North Carolina.
Lex Hackley: $300K GWG L Bond Complaint Against Front Range Advisor
Centennial, Colorado financial advisor Lex Hackley (CRD# 4899317) recently received an investor complaint alleging six-figure damages relating to a GWG L bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LifeMark Securities, doing business as Front Range Financial.
Yvonne Zhong: $900K GWG L Bond Complaint Against Los Gatos Advisor
A recent investor complaint against NI Advisors financial advisor Yvonne Zhong (CRD# 3203120) alleges that she unsuitably recommended an investment in GWG L bonds. Financial Industry Regulatory Authority records show that she is a broker based in Los Gatos, California.
Cindy Chiellini: $100K Complaint Against Cola Wealth Advisor
Lexington, South Carolina financial advisor Cindy Chiellini (CRD# 1015592) has been involved in dozens of investor complaints. Financial Industry Regulatory Authority records show that she is a broker registered with Centaurus Financial and a representative of Cola Wealth Advisors.
Brett Rutherford: Capital Investment Advisor Has $100K GWG Complaint
A recent investor complaint against Morehead City, North Carolina financial advisor Brett Rutherford (CRD# 4001310) alleges that he unsuitably recommended GWG Holdings investments. Financial Industry Regulatory Authority records show that he is a broker with Capital Investment Group and the president of Rutherford Financial Group.
